United States v. Hermanek

289 F.3d 1076
Court of Appeals for the Ninth Circuit·Decided May 15, 2002·No. Nos. 99-10092, 99-10137, 99-10142, 99-10143, 99-10146 and 99-10197·Published·Cited by 131 cases

Opinion

FISHER, Circuit Judge.

I. Overview

Appellants Robert Hermanek, Robert Rutherford, Anthony Flowers, Sheldon Johnson and Jerry Fiorillo were charged with conspiring to distribute cocaine, possessing cocaine with intent to distribute and related offenses. See 21 U.S.C. §§ 846, 841(a)(1). The government alleged that Flowers was at the center of a large-scale cocaine trafficking organization, that Fiorillo and Hermanek were Flowers’ suppliers and that Johnson and Rutherford were among Flowers’ larger customers. In 1994, agents of the Federal Bureau of Investigation (FBI) and Drug Enforcement Agency (DEA) conducted extensive electronic surveillance of the cocaine trafficking organizations headed re[1083] spectively by Flowers and another man, Emanuel Lacy, leading to the indictment of appellants and others. Six of those charged, including all five appellants, were joined in one trial. Before trial, appellants unsuccessfully moved to suppress wiretap evidence, charging that the government failed to comply with the recording and sealing requirements codified at 18 U.S.C. § 2518(8)(a).

A four-month jury trial ensued. The government introduced six kilograms of cocaine seized from residences associated with Rutherford and 862 grams of cocaine seized from Flowers’ other customers. No substantial quantities of cocaine were seized from any appellant other than Rutherford, although trace amounts of cocaine or cocaine residue were seized from locations associated with at least one other appellant. Because the probative value of the physical evidence, standing alone, was limited, the government’s ease relied heavily on wiretapped cellular phone calls in which appellants allegedly discussed cocaine transactions. Although the calls themselves never mentioned cocaine or other drugs by name, the government offered, over appellants’ objections, the expert testimony of FBI Special Agent John Broderick to interpret the coded language contained in the conversations as referring to or being consistent with cocaine. Bro-derick’s testimony interpreted not only words commonly used in the drug trade and words he had encountered in other drug cases, but also words he encountered for the first time in this case, such as “Gucci watches” and “cookies,” each of which he interpreted as references to cocaine. The defense stressed the ambiguity of the phone calls and the government’s failure to seize large quantities of cocaine from appellants other than Rutherford. Appellants contended the phone calls could have referred to lawful conduct or to substances other than cocaine, such as marijuana or steroids.

At the close of evidence, the court directed a verdict of acquittal in favor of Rutherford and Johnson on the conspiracy charges, finding that the government had failed to establish a sufficient link between their possession of cocaine and the Flowers conspiracy.

In closing arguments, prosecutors referred to their own role in the investigation, sometimes using the words “we” and “us” to explain what investigators had found, leading the district court to conclude the prosecutors had improperly vouched for the government’s case. The court concluded that the error was harmless, however.

The jury found each appellant guilty of possessing cocaine with intent to distribute and found Hermanek, Flowers and Fiorillo guilty of conspiracy to distribute cocaine as well. The jury hung as to a sixth defendant.

We address the plethora of issues appellants raise on appeal here and in a concurrently filed memorandum disposition. We hold that the government did not comply with the recording and sealing requirements in carrying out wiretaps of cellular phone and pager communications, but we uphold the district court’s denial of appellants’ motion to suppress the evidence derived from these wiretaps because the government satisfactorily explained its noncompliance. We agree that the government failed to establish that a portion of Broderick’s expert testimony was based on a reliable methodology. The district court did not fulfill its gatekeeping role when it relied only on Broderick’s general qualifications and did not assure that his interpretations of particular code words encountered for the first time in this case were supported by reliable methods. Parts of Broderick’s testimony should have been excluded under Rule 702 of the Federal Rules of Evidence. We also [1084] agree with the district court that the prosecutors’ closing arguments vouched for the government’s case and improperly blurred the distinction between witness and advocate. The evidence against appellants was strong, however, and we therefore conclude that these evidentiary and vouching errors were harmless.

II. Wiretaps

Appellants contend the district court erred by admitting two forms of wiretap evidence: (1) tapes and transcripts of intercepted cellular telephone communications and (2) data gleaned from surveillance of digital display pagers. They argue that the cellular telephone recordings were not immediately sealed as required by federal statute. They also contend the pager interceptions were neither recorded nor sealed as required by law even though recordation was possible through the use of a device known as a pager receiver. They further contend that the government did not satisfactorily explain its noncompliance, as the statute requires, rendering the wiretap evidence inadmissible. The district court rejected appellants’ arguments. We disagree with the district court’s rulings that the government complied with the sealing and recordation requirements, but affirm because the government’s omissions were satisfactorily explained, precluding suppression.

A. Statutory Requirements

Federal wiretaps are governed by Title III of the Omnibus Crime Control and Safe Street Act of 1968, as amended, 18 U.S.C. §§ 2510-2522.1 The recording and sealing requirements upon which appellants’ challenges depend are set forth in § 2518(8)(a), the operative portions of which require, as a precondition to admissibility, (1) that the government record intercepted communications where “possible”; (2) that the government present such recordings to the district court to be sealed “[i]mmediately” upon the expiration of the order authorizing the surveillance, “or extensions thereof’; and (3), in the absence of compliance with either of these requirements, that the government offer a “satisfactory explanation.”2 Our review therefore entails a two-step analysis. First we determine whether the government complied with the recordation and sealing requirements. If the government has not complied, we determine whether it offered a “satisfactory explanation” for its failure to do so. Suppression is required if the government fails to satisfy both steps of the analysis.

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United States v. Hermanek, 289 F.3d 1076 (9th Cir. 2002).

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